Heartland Advisors

Heartland Small Cap Value Strategy 2Q24 Portfolio Manager Commentary

 Executive Summary

  • Year-to-date, the Heartland Small Cap Value Strategy outperformed its benchmark, the Russell 2000 Value Index, +3.09% vs -0.85%. However, in a challenging second quarter for small caps, the Strategy was off -5.11% versus -3.64% for the benchmark.
  • The Strategy continues to outperform the benchmark for the last 3 and 5 years. 
  • Active management is helping investors identify opportunities that could shine once mega-cap glamour’s stranglehold loosens.
  • Though popular equity indices are priced at historically high levels, we have been able to initiate new positions at admirable valuation discounts.    

“You can’t take the same actions as everyone else and expect to outperform.”
— Howard Marks

The esteemed value investor Howard Marks wisely pointed out the fallacy of thinking you can follow the herd while expecting to outpace it at the same time. Successful investing, he noted, is “the exact opposite” of trend following. We agree. 

Our willingness to steer clear of the path toward speculation by staying true to Heartland’s 10 Principles of Value Investing™ has helped us outperform the Russell 2000 Value® Index so far in 2024 and over the past 3 and 5 years.

The second quarter was rough but we continue to focus on well-managed, undervalued businesses with resilient balance sheets and sound business strategies. Such attributes may lack flash in an era marked by the speculative frenzy surrounding artificial intelligence, yet these are precisely the types of businesses we believe are being targeted for acquisition. 

With the typical stock in our Strategy trading at just 10.6 times 2025 estimated earnings per share, versus 19.9 for the S&P 500 Index, the portfolio seems attractive for potential take outs. Even if that does not come to pass, we are confident a portfolio constructed on the merits of low price to earnings and low debt with strong earnings and revenue prospects makes sense in all markets.

What gives us this conviction? For starters, we have implemented guardrails to make sure that performance is driven by security selection, and not because we are overweight or underweight an industry relative to the index. Even if those allocations are the result of bottoms-up stock picking, and not a top-down sector bet, they could end up being more responsible for the Strategy’s results than our selection effect. To prevent this, sector exposures (with exceptions for small sectors) must be no less than 50% and not more than 150% of the benchmark’s. Our goal is to win in each area of the market so we can deliver consistent outperformance.

Another comforting factor is that when it comes to security analysis, we seek confirmation through old-fashioned “boots on the ground” examination. For more than 40 years, Heartland has engaged in active, in-person fundamental research to gain first-hand knowledge about a company’s operations and strategy. We want to see, with our own eyes, how its products stack up versus the competition’s. This is accomplished, in part, through meetings with management and customers, such as founder Bill Nasgovitz’s recent visit to the Charles LeMoyne Cancer Center, a customer of a long-term holding, Accuray Inc. (ARAY) Through his visit, Bill gathered insight into Radixact, a new Accuray product, manufactured in Madison, Wisconsin, being installed in the Montreal hospital to radiate cancers (see photo below). 

Visiting a company to ascertain its suitability for a portfolio seems to be becoming a lost art. In an era of passive investing, where investors feel comfortable buying an index fund or ETF without understanding what they own, we believe this on-the-ground research sets us apart from the crowd.

Attribution Analysis & Portfolio Activity

For the quarter, the Heartland Small Cap Value Strategy was down 5.11%, versus the 3.64% loss for the Russell 2000® Value Index. Stock selection was mixed during this brief period, with the Strategy outperforming the benchmark in Consumer Staples, Materials, and Real Estate, while lagging in other areas including Consumer Discretionary, Energy, Financials, Health Care, Industrials, Information Technology, and Utilities. Security selection, however, was the primary reason the Strategy has beaten the index so far this year, up 3.09% versus the loss of 0.85% for the benchmark. 

While opportunities aren’t necessarily plentiful, we try to take advantage of them when they arise. 

An area where we are underweight is banks, but we don’t just want to add holdings in that industry to check a box. The goal is to find well-run institutions in good regions with solid population growth. Enter Seacoast Banking Corp. of Florida (SBCF)

SBCF, which provides commercial and consumer banking, wealth management, and mortgage services across Florida, has been on our watch list for some time. Investors, concerned about Seacoast’s profitability, have pushed the share price down almost 17% year to date. But we believe the bank’s net interest margin is poised to rebound in the second half of this year. Meanwhile, management has been aggressively reducing costs by closing redundant branches at the same time it has been adding bankers. If loan demand picks up even modestly, the combination should result in decent operating leverage. 

An added benefit: Seacoast could be a takeout target, as it is one of the few remaining pure-play regional banks in Florida, one of the highest growth regions for financial services. Yet the stock trades at just 1.5 times tangible book value, which is one standard deviation below its 10-year average multiple.

In this volatile market, we also understand that promising long-term opportunities may already reside in our portfolio; our job is to have the discipline to stick with them, even amid short-term challenges. An example of this is Mohawk Industries (MHK).

The stock slumped more than 18% in the second quarter along with other home related stocks as mortgage rates rose. While weakness in real estate could persist for the next few quarters, this is a case where the story is about the future. Simply put, there is a massive shortage of homes in America after building rates fell below the 50-year average following the global financial crisis. Since 2012, 7.2 million more households have been formed than single-family homes constructed. 

As the median sales price on new homes sold rose to $433,500 in April, housing affordability sank to record lows, putting a strain on the lower end of the market just as millennials are forming new households. Less than 52% of millennials currently own homes, compared with 78% for Baby Boomers and 70% for Gen X. This is creating an attractive longer term supply-demand dynamic for building.

Mohawk, as the nation’s leading manufacturer of residential and commercial flooring products, should be able to navigate the housing slowdown.

The business in our view is mispriced, selling below stated book value and only 10X (10% earnings yield).

Outlook

We agree with Howard Marks: It doesn’t make sense to passively follow the herd like index funds. Given how richly priced the broad market is today, we are fine going in a different direction to build in a margin of safety. The fact that mega-cap tech stocks continue to outperform in the face of historically frothy prices, in our view, only makes the case for small value stronger. As value investors, our job is to be disciplined enough to avoid what the crowd is buying today while being patient enough to pounce on opportunities, which is guided by our 10 Principles of Value Investing™.  

Fundamentally and patiently yours,
The Heartland Investment Team

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Portfolio Management Team

Heartland Advisors Value Investing Portfolio Manager Will Nasgovitz

Will Nasgovitz

CEO and Portfolio Manager

Heartland Advisors Value Investing Portfolio Manager Bill Nasgovitz

Bill Nasgovitz

Chairman and Portfolio Manager

Composite Returns*

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Source: FactSet Research Systems Inc., Russell Investment Group, and Heartland Advisors, Inc.
*Yearly and quarterly returns are not annualized. The Strategy's inception date is 10/1/1988. 
**Shown as supplemental information. 

The US Dollar is the currency used to express performance. Returns are presented net of advisory fees and net of bundled fees and include the reinvestment of all income. The returns net of bundled fees were calculated by subtracting the highest applicable sponsor portion of the separately managed wrap account fee from the net of advisor fees return.

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©2024 Heartland Advisors | 790 N. Water Street, Suite 1200, Milwaukee, WI 53202 | Business Office: 414-347-7777 | Financial Professionals: 888-505-5180 | Individual Investors: 800-432-7856

Past performance does not guarantee future results.

The Small Cap Value Strategy seeks long-term capital appreciation by investing in micro- and small-cap companies, generally with market capitalizations of less than the largest companies in the Russell 2000 Value Index, at the time of purchase. The micro- and small-cap segment of the stock market is robust with thousands of publicly traded issues, many of which lack traditional Wall Street research coverage. Thus, we believe this market is often inefficient, mispricing businesses and offering opportunities for fundamental research-minded investors such as Heartland.

The Small Cap Value Strategy invests in small companies selected on a value basis. Such securities generally are more volatile and less liquid than those of larger companies.

Value investments are subject to the risk that their intrinsic values may not be recognized by the broader market. 

Heartland Advisors, Inc. (the “Firm”) claims compliance with the Global Investment Performance Standards (GIPS®). The Firm is a wholly owned subsidiary of Heartland Holdings, Inc. and is registered with the Securities and Exchange Commission. For a complete list and description of Heartland Advisors composites and/or a presentation that adheres to the GIPS® standards, contact Institutional Sales at Heartland Advisors, Inc. at the address listed below.
 

As of 6/30/2024, Accuray, Inc. (ARAY), Mohawk Industries, Inc. (MHK), and Seacoast Banking Corporation of Florida (SBCF), represented 3.71%, 3.18%, and 0.20%, of the Small Cap Value Composite’s net assets, respectively.

The future performance of any specific investment or strategy (including the investments discussed above) should not be assumed to be profitable or equal to past results. The performance of the holdings discussed above may have been the result of unique market circumstances that are no longer relevant. The holdings identified above do not represent all of the securities purchased, sold or recommended for the Advisor’s clients.

Portfolio holdings are subject to change. Current and future portfolio holdings are subject to risk.

In certain cases, dividends and earnings are reinvested.

GIPS® is a registered trademark of CFA Institute. CFA Institute does not endorse or promote this organization, nor does it warrant the accuracy or quality of the content contained herein.

Separately managed accounts and related investment advisory services are provided by Heartland Advisors, Inc., a federally registered investment advisor. ALPS Distributors, Inc., is not affiliated with Heartland Advisors, Inc.

The statements and opinions expressed in this article are those of the presenter(s). Any discussion of investments and investment strategies represents the presenters’ views as of the date created and are subject to change without notice. The opinions expressed are for general information only and are not intended to provide specific advice or recommendations for any individual. The specific securities discussed, which are intended to illustrate the advisor’s investment style, do not represent all of the securities purchased, sold, or recommended by the advisor for client accounts, and the reader should not assume that an investment in these securities was or would be profitable in the future. Certain security valuations and forward estimates are based on Heartland Advisors’ calculations. Any forecasts may not prove to be true. 

Economic predictions are based on estimates and are subject to change.

There is no guarantee that a particular investment strategy will be successful.

Sector and Industry classifications are sourced from GICS®.The Global Industry Classification Standard (GICS®) is the exclusive intellectual property of MSCI Inc. (MSCI) and S&P Global Market Intelligence (“S&P”).  Neither MSCI, S&P, their affiliates, nor any of their third party providers (“GICS Parties”) makes any representations or warranties, express or implied, with respect to GICS or the results to be obtained by the use thereof, and expressly disclaim all warranties, including warranties of accuracy, completeness, merchantability and fitness for a particular purpose.  The GICS Parties shall not have any liability for any direct, indirect, special, punitive, consequential or any other damages (including lost profits) even if notified of such damages.

Heartland Advisors defines market cap ranges by the following indices: micro-cap by the Russell Microcap®, small-cap by the Russell 2000®, mid-cap by the Russell Midcap®, large-cap by the Russell Top 200®.

Because of ongoing market volatility, performance may be subject to substantial short-term changes.

Dividends are not guaranteed and a company’s future ability to pay dividends may be limited. A company currently paying dividends may cease paying dividends at any time.

There is no assurance that dividend-paying stocks will mitigate volatility.

Russell Investment Group is the source and owner of the trademarks, service marks and copyrights related to the Russell Indices. Russell® is a trademark of the Frank Russell Investment Group.

Data sourced from FactSet: Copyright 2024 FactSet Research Systems Inc., FactSet Fundamentals. All rights reserved.

Heartland’s investing glossary provides definitions for several terms used on this page.

Buyback is the repurchase of outstanding shares (repurchase) by a company in order to reduce the number of shares on the market. Enterprise Value/Earnings Before Interest, Taxes, Depreciation, and Amortization (EV/EBITDA) Ratio is a financial indicator used to determine the value of a company and is calculated by dividing the entire economic value of the company (enterprise value) by its earnings before interest, taxes, depreciation, and amortization (EBITDA). Earnings Per Share is the portion of a company’s profit allocated to each outstanding share of common stock. Earnings Yield is the reciprocal of the price to earnings ratio.  Free Cash Flow is the amount of cash a company has after expenses, debt service, capital expenditures, and dividends. The higher the free cash flow, the stronger the company’s balance sheet. Insider Buying is the purchase of a company's stock by individual directors, executives or other employees. Margin of Safety is a principle of investing in which an investor only purchases securities when the market price is significantly below its intrinsic value. Price/Earnings Ratio of a stock is calculated by dividing the current price of the stock by its trailing or its forward 12 months’ earnings per share.  Russell Investment Group is the source and owner of the trademarks, service marks and copyrights related to the Russell Indices. Russell® is a trademark of the Russell Investment Group. Russell 2000® Index includes the 2000 firms from the Russell 3000® Index with the smallest market capitalizations. All indices are unmanaged. It is not possible to invest directly in an index. Russell 2000® Value Index measures the performance of those Russell 2000® companies with lower price/book ratios and lower forecasted growth characteristics. S&P 500 Index is an index of 500 U.S. stocks chosen for market size, liquidity and industry group representation and is a widely used U.S. equity benchmark. All indices are unmanaged. It is not possible to invest directly in an index. S&P 600 Index is a group of 600 U.S. stocks chosen for their market size, liquidity and industry group representation. All indices are unmanaged. It is not possible to invest directly in an index. 10 Principles of Value Investing™ consist of the following criteria for selecting securities: (1) catalyst for recognition; (2) low price in relation to earnings; (3) low price in relation to cash flow; (4) low price in relation to book value; (5) financial soundness; (6) positive earnings dynamics; (7) sound business strategy; (8) capable management and insider ownership; (9) value of company; and (10) positive technical analysis.

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